SCHEDULE: Anson Funds Reports 4.9% Stake in Applied DNA Sciences

Anson Funds Management LP and its affiliates have filed an Amendment No. 3 to Schedule 13G, reporting a 4.9% beneficial ownership in Applied DNA Sciences, Inc. as of September 30, 2025.

Summary

• Anson Funds Management LP, along with Anson Management GP LLC, Mr. Tony Moore, Anson Advisors Inc., Mr. Amin Nathoo, and Mr. Moez Kassam, collectively reported beneficial ownership of 67,828 shares of Applied DNA Sciences, Inc. common stock.
• This ownership represents 4.9% of the outstanding common stock of Applied DNA Sciences, Inc.
• The reported percentage includes shares of common stock underlying outstanding warrants held by the reporting persons.
• The calculation of the percentage is based on 1,291,465 shares of common stock outstanding as of August 14, 2025, plus the 67,828 shares receivable upon warrant exercise, totaling 1,359,293 shares.
• A beneficial ownership limitation is in place, preventing the exercise of warrants if it would result in ownership exceeding 4.99% of the outstanding common stock.
• The filing is an Amendment No. 3 to Schedule 13G, indicating a passive investment intent, not for the purpose of changing or influencing control of the issuer.

Sentiment

Score: 5

Explanation: The filing is a factual report of beneficial ownership and does not inherently convey positive or negative sentiment regarding the issuer's performance or prospects. It is a neutral regulatory disclosure.

Positives

• NA

Negatives

• NA

Risks

• NA

Future Outlook

The filing does not contain any forward-looking statements or guidance from the issuer or the reporting persons regarding future operations or financial performance, beyond the passive investment intent.

Industry Context

This Schedule 13G filing indicates a significant, but passive, investment by Anson Funds in Applied DNA Sciences. Such filings are standard disclosures when an institutional investor's beneficial ownership crosses certain thresholds (in this case, below 5% for a 13G, but still a notable stake). It signals that a professional investment firm sees value in the company, without indicating an intent to influence management or corporate strategy.

Comparison to Industry Standards

• The 4.9% stake is below the 5% threshold that would typically trigger a more detailed Schedule 13D filing, which is reserved for investors with an intent to influence or control the company. This indicates a passive investment strategy, consistent with many institutional holdings.
• The inclusion of a beneficial ownership limitation (4.99%) within the warrants is a common practice to avoid triggering the more stringent reporting requirements and potential regulatory scrutiny associated with crossing the 5% threshold, particularly for passive investors.

Stakeholder Impact

• Shareholders: Provides transparency regarding a significant institutional investor's passive stake in the company, which can be viewed as a vote of confidence in the company's long-term value, albeit without an activist intent.

Next Steps

• NA

Key Dates

Keywords

Applied DNA Sciences, Anson Funds, Schedule 13G, Beneficial Ownership, Common Stock, Investment, Passive Stake, Warrants